I. PURPOSE OF RECORDS SCHEDULING
"Record" or "records" means all books, papers, maps, photographs, or other official documentary materials, regardless of physical form or characteristics, made, produced, executed, or received by any agency in the State in pursuance of state law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency of its successor as evidence of the organization, function, policies, decisions, procedures, operations, or other activities of the State or of the State Government, or because of the informational data contained therein.
Records produced or received by any agency or employee of the University in the transaction of University business become University property. For the purposes of this paragraph, records shall be defined as including all documents, correspondence, accounts, files, manuscripts, publications, photographs, tapes, drawings, or other material bearing upon the activities and functions of the University of its officers and employees.
To adopt a schedule for the long–term disposition of your office's record please:
Review the Section on "How to Use the Model Records Disposal Authorization" which includes guidelines for the description of records commonly held in university offices and instructions for descriptions of electronic record systems. Please note that this is only an outline of a document authorizing disposal of the records in your office; it is not the actual authorization to destroy records or erase files. Send your modified version of the Model Records Disposal Authorization to the University Archives (Room 19 Library). Once we have received and reviewed this information, we request follow-up information or arrange to visit your office and prepare an official Records Disposal Authorization (RDA) for departmental review. After your department head has signed the RDA, we will forward it through the Secretary of the Board of Trustees to the State Records Commission for review and approval. After receiving the Commission's approval or amendments, we will send a copy to your office along with an explanation of the Commission's procedures for implementing the RDA and disposing records.
If you have questions concerning records scheduling, please call the Archives at 333-0798 or send e-mail to: illiarch@illinois.edu.
William J. Maher
University Archivist
January 1997
III. HOW TO USE THE MODEL RECORDS DISPOSAL AUTHORIZATION
The University Archives has examples of approved Records Disposal Authorizations for several types of electronic record systems. These are available as samples on request.
D. SAMPLE DESCRIPTIONS OF DEPARTMENTAL RECORDS: MODEL RECORDS DISPOSAL AUTHORIZATION
College or Major Administrative Unit ______________________________________
Department or Subordinate Administrative Unit _______________________________
Office_______________________________________________________________
1 Subject File, 19 --
Subject or General Correspondence file includes correspondence, reports, memoranda and publications relating to the administration of the unit and concerning curriculum; academic policy; departmental, college, campus, and university committees; affirmative action; space; equipment; graduate and undergraduate programs; professional organizations; honors; lectures; grant proposals; relations with academic and administrative departments, colleges, schools, centers, and institutes; Graduate College; departmental history; faculty sabbaticals; departmental governance and visitors.
Volume: . cubic feet
Annual Accumulation: . cubic feet
Arrangement: Alphabetical by subject
Recommendation: Retain 20 years and transfer to University Archives
for permanent retention, provided that routine
documents may be destroyed after 3 years.
2 Chronological File, 19 --
Chronological File for the __________ office contains extra copies of outgoing correspondence and memoranda maintained for administrative reference.
Volume: . cubic feet
Annual Accumulation: . cubic feet
Arrangement: Chronological.
Recommendation: Retain 3 years and destroy, provided that record
copies of correspondence and memoranda are retained in
the Subject File (Series 1) on an ongoing basis.
3 Grants File, 19 --
Grants File for successful and unsuccessful applications for grants and contracts submitted by faculty members to federal agencies, foundations, and university offices including the Research Board. This series includes project proposals, departmental copies of grant[s] and contracts, correspondence with granting agencies and university offices, and project narrative and financial reports.
Financial records related to the expenditure of grant funds are maintained as part of the Financial Records (Series 3 on this Records Disposal Authorization).
Volume: . cubic feet
Annual Accumulation: . cubic feet
Arrangement: Chronological and by name of project director
thereunder.
Recommendation: a) Retain project proposals, contracts, narrative
reports, financial reports, and correspondence
concerning project design and results 10 years from
the end of the award period and transfer to the
University Archives for permanent retention.
b) Retain departmental copies of routine transmittal
correspondence and interim financial reports 6 years
from the end of the award period and destroy provided
that all audits pending during the last year of the
retention period have been completed and no litigation
is pending or anticipated.
4 Division of Management Information Reports File, 19 --
Departmental copies of reports submitted to and received from the Division of Management Information include Activity Effort Plans, Academic Statistical Reports; Monitored Workload Comparison Reports; Academic Staff Lists; Distributions of Registrants; Distributions of Instructional Units; Course Teaching Load Reports; Assignments of Instructional Unit Credit in Cross-Listed Course; Course Master Files; Annual Summary Supplements; Course Grade Distribution; and Code Books.
These reports contain information derived from Division of Management Information's electronic data files on academic staff teaching, research and service time and from the Office of Facilities Planning and Maintenance's assignment of classroom space and the Office of Admissions and Records' course enrollment. Division of Management Information's electronic data file is retained permanently under Records Disposal Authorization 78-1, series 3.
Volume: . cubic feet
Annual Accumulation: . cubic feet
Arrangement: Chronological and alphabetical by faculty name
thereunder.
Recommendation: Retain 2 years and destroy.
5 Budget File, 19 --
Budget File contains correspondence, memoranda, Business Affairs Office internal budget statement printouts and other budget working papers concerning recommendations and allocations of funds showing objects and amounts of proposed expenditures for salaries, equipment, supplies and other purposes.
Volume: . cubic feet Annual Accumulation: . cubic feet Arrangement: Chronological Recommendation: Retain 8 years and destroy.
6 Financial Records, 19 --
Financial Records covering activities supported by university, foundation, state and federal funds and containing departmental copies of financial documents submitted to and received from the central business office including monthly statements of account, requisitions, purchase orders, miscellaneous vouchers and vouchers for travel, stores, postage, printing and photographic jobs, office machine repair and physical plant costs, telecommunications journals, miscellaneous service requisitions, delivery receipts, correspondence and bills from vendors relating to purchase orders, and departmental work papers and supporting documentation.
Volume: . cubic feet
Annual Accumulation: . cubic feet
Arrangement: Chronological and by account number thereunder.
Recommendation: Retain 3 years plus the current fiscal year and
destroy, provided that a) financial records for
grant supported activity are retained 6 years
following the completion of the award period and
destroyed, and b) all audits pending during the
last year of the retention period have been completed
and no litigation is pending or anticipated.
7 Cash Sales Records, 19 --
Cash Sales Records include cash sales receipts (form 701) and reports of cash sales (form 702), reports of cash received, gifts received, sales invoices, cash register tapes, and student charges for sales activities of the department. This series also contains departmental copies of financial documents received from the central business office, including daily and monthly reports, vendor copies of customers' credit card slips, all work papers used for accounting of sales money, and internal records of purchase orders.
Volume: . cubic feet
Annual Accumulation: . cubic feet
Arrangement: Chronological and by account number thereunder.
Recommendation: Retain 4 years plus the current fiscal year and destroy
provided that all audits pending during the last year
of the retention period have been completed and no
litigation is pending or anticipated.
8 Inventory and Key Records, 19 --
Inventory and Key Records contain departmental copies of moveable equipment inventories (showing date, description of equipment, tag number, purchase date, cost, purchase order number, and transaction code reflecting type of acquisition and missing status) for all moveable equipment, lists of keys and persons authorized to have keys to department office space, monthly and annual inventory reports, and individual reports for equipment removed from inventory.
Volume: . cubic feet
Annual Accumulation: . cubic feet
Arrangement: By inventory number and chronological thereunder.
Recommendation: Retain 5 years and destroy provided that all audits
pending during the last year of the retention period
have been completed and no litigation is pending or
anticipated.
9 Payroll Records, 19 --
Payroll Records for civil service and student hourly staff contain daily time reports, student biweekly daily time cards, and office copies of standard time reports, standard time report adjustments, payroll account distribution vouchers and payroll account obligation reports.
Volume: . cubic feet
Annual Accumulation: . cubic feet
Arrangement: Chronological and by type of document thereunder.
Recommendation: Retain 3 years and destroy provided that all audits
pending during the last year of the retention period
have been completed and no litigation is pending or
anticipated.
10 Appointment Forms, 19 --
Departmental copies of notification of appointment and change of status forms for academic, non–academic and graduate assistants holding appointments in the ______________ department.
Volume: . cubic feet
Annual Accumulation: . cubic feet
Arrangement: By status (active and inactive) and alphabetical
thereunder.
Recommendation: Retain 3 years and destroy provided that the first and
last appointment forms for academic and non–academic
staff are retained with the individual's personnel
file.
11 Civil Service Personnel File, 19 --
Personnel File for University Civil Service employees includes departmental copies of applicant referral, notification of appointment, and change of status forms and correspondence, notes and evaluations regarding employment, staff development activities, and grievances.
Volume: . cubic feet
Annual Accumulation: . cubic feet
Arrangement: Alphabetical by name of employee.
Recommendation: Retain 6 years after the date of termination and
destroy, provided that personnel records for all
employees who have asserted a claim against the
University shall be retained until such action is
finally adjudicated and no litigation is pending or
anticipated.
12 Academic Staff Applicant File, 19 --
Academic Staff Applicant File for faculty and academic professional positions contains job announcements, letters of application vitae, samples of candidates' publications and other supporting documents, transcripts, requests for recommendations, letters of recommendations, vitae, correspondence, departmental notes on applicants, and departmental copies of UIUC Affirmative Action Summary and Pre–Audit forms submitted to the Associate Chancellor for Affirmative Action. Documentation for applicants who are hired is transferred to the Academic Staff File.
Volume: . cubic feet
Annual Accumulation: . cubic feet
Arrangement: By position being filled and alphabetically by
applicant name thereunder.
Recommendation: Retain 2 years from the effective date of employment
and destroy, provided that: a) Affirmative Action
Summaries, Pre-Audit forms, and position descriptions/
job announcements are retained for 5 years and
destroyed; b) all applicant files for positions about
which grievances have commenced are retained until
resolution of all claims.
13 Academic Personnel File, 19 --
Academic Personnel File for faculty and academic professional positions contains employment applications, personal histories, vitae, letters of recommendation, sabbatical leave requests and recommendations, course evaluation forms, and correspondence relating to teaching of courses, research projects, departmental committees, and other professional activities, and departmental copies of contracts with Board of Trustees, notification of appointment, and change of status forms.
Volume: . cubic feet
Annual Accumulation: . cubic feet
Arrangement: By status (current and inactive) and alphabetical by
name thereunder.
Recommendation: Retain 15 years after date of resignation, retirement,
or termination and transfer to the University Archives
for permanent retention.
14 Promotion and Tenure File, 19 --
Promotion and Tenure File contains documents used in reviewing faculty for promotion and tenure including biographical summary, vitae, lists of publications and professional activity, letters of evaluation from external referees, report of departmental review committee, department chair's evaluation of candidate, recommendation for action, summary of action, correspondence, and copies of papers forwarded to the College/ School of ______________ for action on cases.
Volume: . cubic feet
Annual Accumulation: . cubic feet
Arrangement: Chronological and alphabetically by name of faculty
thereunder.
Recommendation: Retain 10 years and destroy provided that promotion and
tenure records for all employees who have asserted a
claim against the University shall be retained until
such action is finally adjudicated.
15 Time Table File, 19 --
Time Table File contains departmental working papers and correspondence regarding Time Table information submitted to the Office of Facilities Planning including drafts of Time Table entries, lists of courses and sections and enrollment limits.
Volume: . cubic feet Annual Accumulation: . cubic feet Arrangement: Chronological and by course number thereunder. Recommendation: Retain 2 years and destroy.
16 Class Roster File, 19 --
Departmental copies of Advance Enrollment Roster and Tally and final Class Rosters listing name, social security number, college, curriculum and level of students enrolled in courses.
Volume: . cubic feet
Annual Accumulation: . cubic feet
Arrangement: Chronological and by course number thereunder.
Recommendation: Retain 2 years and destroy, provided that superseded
Class Rosters may be destroyed as updated ones are
received.
17 Change of Section Forms, 19 --
Departmental copies of Change of Section forms submitted to the Office of Admissions and Records recording student's name, social security number, college, curriculum, major, course number, and changes in section number.
Volume: . cubic feet Annual Accumulation: . cubic feet Arrangement: Chronological and alphabetical thereunder Recommendation: Retain current semester and destroy.
18 Grade Rosters, 19 --
Departmental copies of Grade Rosters listing name, social security number, college, curriculum, level, and grades for students enrolled in courses. This series also includes departmental copies of Turnaround Grade Rosters from the Office of Admissions and Records listing grades as recorded in students' academic record.
Volume: . cubic feet Annual Accumulation: . cubic feet Arrangement: Chronological and by course thereunder. Recommendation: Retain 2 years and destroy.
19 Student Examinations and Instructor Course Grade Books, 19 -
Faculty and teaching assistant Student Examinations File and Instructor Course Grade Books, including all examinations taken by students enrolled in ____________ courses, and grade books listing name, social security number, college, curriculum, level, and grades for students enrolled in ____________ courses. The resultant course grades are recorded in the students official academic record maintained by the Office of Records and Admissions.
Volume: . cubic feet Annual Accumulation: . cubic feet Arrangement: Chronological and by course number thereunder. Recommendation: Retain 1 year and destroy, provided no litigation is pending or anticipated.
20 Book Order Forms, 19 --
Departmental copies of Book Order forms list course title and number, instructor, date, expected enrollment and books, supplies, and equipment required for __________ courses.
Volume: . cubic feet Annual Accumulation: . cubic feet Arrangement: Chronological and by course number thereunder. Recommendation: Retain 1 year and destroy.
21 Course Syllabi File, 19 --
Course Syllabi File including syllabi, course outlines, bibliographies, and reading lists.
Volume: . cubic feet
Annual Accumulation: . cubic feet
Arrangement: Numerically by course number and chronological by
semester and year thereunder.
Recommendation: Retain 10 years and transfer to the University Archives
for permanent retention.
22 Instructor Evaluation Reports, 19 --
Course Evaluation Reports include departmental copies of Office of Instructional Resources instructor reports recording results of course evaluations completed each semester by students in each course.
Volume: . cubic feet
Annual Accumulation: . cubic feet
Arrangement: Chronological by semester and numerically by course
number thereunder.
Recommendation: Retain for 6 years and destroy.
23 Undergraduate Student Files, 19 --
Undergraduate Student Files for individuals with majors or fields of concentration in include departmental copies of ACT and SAT scores, notices of admission, semester grade reports, college curriculum change cards, pass/fail option cards, and transcripts and departmental forms recording progress in completing requirements for major, field of concentration, and graduation and correspondence regarding transfers, petitions, and students' work.
Volume: . cubic feet
Annual Accumulation: . cubic feet
Arrangement: By status (active or inactive) and alphabetically by
student name thereunder.
Recommendation: Retain files for students receiving a degree for 5
years and destroy; retain files for inactive students
for 10 years from the date the student becomes inactive
and destroy.
24 Undergraduate Student Honors Theses, 19 --
Undergraduate Student Honors Theses for students participating in the senior's honors program.
Volume: . cubic feet
Annual Accumulation: . cubic feet
Arrangement: Chronological and alphabetical by student name
thereunder.
Recommendation: Retain 10 years and transfer to the University Archives
for permanent retention.
25 Graduate Student File, 19 --
Graduate Student File for individuals enrolled in graduate programs in include applications, transcripts, letters of recommendation, Graduate Record Examination scores, permits to enter, notifications of appointment to fellowships and assist antships, grade reports, class schedules, evaluations, preliminary examinations, Ph.D. candidacy papers, dissertation proposals, and correspondence regarding progress of academic work and the awarding of assistantships. This series also includes a summary index record of graduate students listing name of student and advisor, social security number, dates of attendance, previous schools attended, GRE scores, areas of specialization, date(s) of degree(s), title(s) of masters thesis and/or doctoral dissertation, and last known address.
Volume: . cubic feet
Annual Accumulation: . cubic feet.
Arrangement: By type of record (file and summary index) and statutes
(active and inactive and alphabetical by student name
thereunder.
Recommendation: Retain for 10 years after the date of degree or last
contact and destroy, provided that the summary
departmental record is retained permanently for all
students.
26 Withdrawn Student File, 19 --
Withdrawn Student File for persons who were admitted to the graduate program in but withdrew, canceled, or did not enroll in courses. These files include applications, transcripts, letters of recommendation, notifications of decisions, and correspondence.
Volume: . cubic feet
Annual Accumulation: . cubic feet.
Arrangement: Chronological and alphabetical by student name
thereunder.
Recommendation: Retain 3 years from date of decision on admission and
destroy.
27 Denied Applicant File, 19 --
Denied Applicant File for individuals who applied for but were denied admission to graduate programs in includes correspondence, applications, transcripts, Graduate Record Examination scores, letters of recommendation, departmental admissions checklist, International Student Referral form, OAR Departmental Referral From, student papers, and notification of decision.
Volume: . cubic feet
Annual Accumulation: . cubic feet
Arrangement: Chronological and alphabetical by student name
thereunder.
Recommendation: Retain 5 years from the date of decision on admission
and destroy, provided that records for all applicants
who have asserted a claim against the University shall
be retained until such action is finally adjudicated.
28 Incomplete Applicant Files, 19 --
Incomplete Applicant Files for individuals who inquired about or began, but did not complete, application procedures for graduate programs in include correspondence, applications, transcripts, GRE scores, and letters of recommendation.
Volume: . cubic feet Annual Accumulation: . cubic feet Arrangement: Chronological and alphabetical thereunder. Recommendations: Retain 1 year from date of last contact and destroy.
1 Both the University Archives and the State Records Commission proceed according to the fundamental concept of a record series. Its technical definition is "a systematic gathering of documents that have a common arrangement and common relationship to the functions of the office that created them." This Handbook uses the terms "record series" and "filing units" interchangeably.
2 Note, Appendix 2 contains an Inventory Work Sheet form to use in preparing your description.
3 Note that a "history" file is different from a system back-up file. The "history" file should be considered the archival view of important data and ultimately a permanent file. The back-up file is considered a security file, often containing a simple "dump" or picture of all data in a system at the time of capture.